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FINRA’s Membership Application Program: Safeguarding the Integrity of the Markets
Manage episode 432819515 series 2309258
FINRA’s Membership Application Program (MAP) team serves as the first point of contact for firms looking to enter the broker-dealer industry. It works both to protect investors by ensuring would-be member firms meet FINRA standards of admission, and to help new and existing firms grow and evolve, ensuring a vibrant market for all.
On this episode, Cindy Foster, Vice President of MAP, joins us to share more about FINRA standards of admission and how the group works to ensure a smooth process for both current and prospective member firms.
Resources mentioned in this episode:
Episode 117: Reviewing and Approving Digital Asset Firms
Checklist for Mandatory Materiality Consultation
Residential Supervisory Locations (RSL) FAQs
Phone: 212-858-4000, option five
Email: MAPintake@finra.org
54 episoade
Manage episode 432819515 series 2309258
FINRA’s Membership Application Program (MAP) team serves as the first point of contact for firms looking to enter the broker-dealer industry. It works both to protect investors by ensuring would-be member firms meet FINRA standards of admission, and to help new and existing firms grow and evolve, ensuring a vibrant market for all.
On this episode, Cindy Foster, Vice President of MAP, joins us to share more about FINRA standards of admission and how the group works to ensure a smooth process for both current and prospective member firms.
Resources mentioned in this episode:
Episode 117: Reviewing and Approving Digital Asset Firms
Checklist for Mandatory Materiality Consultation
Residential Supervisory Locations (RSL) FAQs
Phone: 212-858-4000, option five
Email: MAPintake@finra.org
54 episoade
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